CASHINO COMPLIANCE MANAGER AUDIT - Sept 19

• Compliance Manager Audit

• Conducted by

• Venue Area Manager Name

• Venue Manager Name

• Staff present on day of Audit

• Conducted on

  Date

• Previous Audit Date

  Date

• Previous Audit Score + / -

Legal/Notices

• Was the venues BACTA / Bingo Association certificate on display and correct date displayed?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was a No Smoking sign clearly displayed at the entrance, in a window or door?

  Yes

  No

  N/A

• Recommendation/Action

• Please select action date or deadline date.

  Date

• Please state the name of who's responsibility it is.

• Was a No Alcohol sign clearly displayed on the door of the entrance? (AGC only)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the correct Under 18 sign displayed on the entrance door or window?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the correct Think 25 signage on display in the venue?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were Gamcare and Citizen Card leaflets and Posters available? (Including Toilets)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the premises licence correct and on display? Name, Operator, HQ?

  Yes

  No

  N/A

• Action required by Compliance Manager.

• Was the premises licence AGC or Bingo?

  AGC

  BINGO

• Has the Venue a copy of the latest Public liability insurance certificate on public display?.

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are B3 machine numbers correct on the venue?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are the Complaints & Disputes leaflets available? (stored in office or compliance folder)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

Team Presentation

• Were all staff wearing a name badge?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were all staff wearing the current Think 25 badges?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were all staff wearing the correct company uniform?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are all staff carrying mobile panic alarms [MPAs] / Staff Guard Fobs where issued on the venue floor?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

High Street Bingo

• Was bingo material displayed internal and/or external in the Venue and are such that a customer can reasonably be expected to recognise that it is a premises licensed for the purposes of providing bingo facilities.

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Were the correct rules/charges to play notices on display?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Where appropriate was Bingo Express clearly announced via the venues microphone?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Was the wipe clean Bingo Display Board in use? (Bingo License - Rainbow Bingo Sales)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Is Paper Bingo being played as advertised in the venue?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are all shutter boards clean and in working order and numbers visible?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

Control & Compliance

• Do all machines have correct signage displayed on them? Category, Machine % , Over 18 sign and Gamcare Information. [Check Gaming Tablets].

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Does the Venue have tablet gaming? If yes are they unlocked and available for play?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Is the CCTV on, working and + / - 5 mins of GMT?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the Venue tested WORKING Mobile Panic Alarms [Monthly] and or Staff-guard Fobs [Weekly] are details recorded on the appropriate test form?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select Action Date or Deadline Date

  Date

• Do the staff know where the Accident Book and First Aid Box are?

  Yes

  No

  N/A

• Recommendation/Action

• Please select action date or deadline date.

  Date

• Is the First Aid Box adequately stocked and contents In date?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

Compliance Folder / Logs

• Do the members of staff know where the Compliance & Social Responsibility folder is?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are the contents of the folder complete and up to date?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the Venue completed the Attempts by Children and Young Persons to Enter on the IHLTablet Age Verification App?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many Attempts by Children and Young Persons been logged in the last 6 months?

• Has the Venue received a Check Policy age test in the last 6 Months?

  YES

  NO

• Date and Time of Visit

  Date

• Does the Check Policy Visit Appear on the IHL Tablet, Age Verification Section?

  Yes

  No

  N/A

• Please state the name of whos responsibility it is.

• Recommendation / Action

• Please select action date or deadline date.

  Date

• Has the Venue completed Customer Interaction and Problem Gambling? - Gambling Related?. IHL Smart Interaction.

  Yes

  No

  N/A

• Please state the name of who's responsibility it is.

• Recommendation/Action

• Please select action date or deadline date.

  Date

• How many Customer Interactions Gambling Related have been logged in the last 6 months? [ IHL Tablet ]

• Has the Venue completed Customer Complaints and Disputes? LOG C

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many Customer Complaints and Disputes been logged in the last 6 months?

• Has the Venue completed the Self-Exclusion? LOG E [Old style paper Self-Exclusions ]

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Are Self-Exclusion forms up to date on the Self-Exclusion log? (up to 5th April 2016)

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many paper Self-Exclusions are still active in the venue.

• How many Self-Exclusions have been recorded on the IHL tablet by venue and total. [ From 6th April 2016 ]

• Is the IHL tablet charged and ready for use with the latest software version.

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the Venue completed any Smart Incidents on the IHL Tablet?

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• How many incidents have been logged in the last 6 months ?

• Were the police called to resolve any recorded incidents?

  YES

  NO

• How many times have the police been called?

Compliance Training UpSkill

• Has the venue completed the training log for Staff Training? LOG G

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Total number of employees at the venue?

• Do the Essentials of Compliance training dates correspond with Log G training summary and is the Log fully signed?.

  Yes

  No

  N/A

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has all Essentials of Compliance training been completed?

  Yes

  No

  N/A

• Details and Action required.

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has all Safeguarding Training been completed?

  Yes

  No

  N/A

• Details and Action required.

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has all Age Verification Training been completed?

  Yes

  No

  N/A

• Details and Action required.

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

• Has the venue completed any Money Laundering Incident Reports?

  Incident Completed

  No Incidents Completed

• How many Money Laundering Incident Reports have been completed in the venue?

• Have all Money Laundering Incident Reports been reported on the tablet as a matter of urgency?

  Yes

  No

  N/A

• Has the site received a visit from the Gambling Commission/Local Authority/Police in the last 12 months?

  Visit Taken Place

  No Visit Recorded

• Please state the dates of visits and which governing bodies

• Is the report available in the Compliance folder?

  Yes

  No

  N/A

• Have any issues (if any) been resolved and by whom?

• Has the Premises Log Summary Sheet been signed by the Area Manager in the last 8 weeks?

  Yes

  No

  N/A

• When was the last date the Premises Log Summary was signed by the Area Manager?

  Date

• Has the Premises Log Summary been fully completed and signed by the Venue Manager in the last Month?

  Yes

  No

  N/A

• When was the last date the Premises Log Summary was signed by the Venue Manager?

  Date

• As Compliance Manager, was I asked to produce ID and sign the visitors book?

  YES

  NO

• Recommendation/Action

• Please state the name of who's responsibility it is.

• Please select action date or deadline date.

  Date

Play Right

• Does the Venue have Play-Right installed?

  Yes

  No

  N/A

• Did Play-Right Inform the venue by phone and did staff check breach on the tablet and conclude satisfactorily?

  Yes

  No

  N/A

Compliance Training Questions

• Were staff able to explain the Four stages of the company complaints procedure? [ADR] [IBAS]

  Yes

  No

  N/A

• Were staff able to explain procedures for Money Laundering [POCA]

  Yes

  No

  N/A

• Were staff able to explain the 3 Licencing Objectives [Gambling Act 2005]

  Yes

  No

  N/A

• Were staff able to explain which stickers/decals are required on machines (AWP's) by Law?

  Yes

  No

  N/A

• If your Venue has [AWP] Tablets [I.e Bar X , G Tab or Bingo Plus] explain why it is important to check these are fully working at all times?

  Yes

  No

  N/A

• If you think a person entering your venue looks under the age of 25, Name the Four acceptable proofs of Identity you would ask to see?

  Yes

  No

  N/A

• Were staff able to explain what happens if an underage person actually plays the machines?

  Yes

  No

  N/A

• Were staff able to explain the procedures for identifying and dealing with vulnerable people?

  Yes

  No

  N/A

• If you are approached by a customer for help with Problem Gambling you must record it where?

  Yes

  No

  N/A

• If an excluded customer enters the Venue and/or plays the machines whilst they are excluded what actions would you take and where would you record the breach?

  Yes

  No

  N/A

• Were staff able to explain what to do if someone is acting suspiciously?

  Yes

  No

  N/A

• Is your Venue AGC or Bingo and where is your premises licence displayed?

  Yes

  No

  N/A

• If you are required to Self Exclude a customer in a Bingo Venue what is the difference from an AGC?

  Yes

  No

  N/A

Local Area Risk Assessment

• Has venue Local Gambling Risk Assessment been reviewed on this visit

  Reviewed

  Not Reviewed

• Comments,

See comments and action points below

• Additional points raised by Compliance Manager

• Would you like to add a Recommendation/Action?

  YES

  NO

• Point 1

• Please state the names of who's responsibility it is.

• Please enter action date or deadline date.

  Date

• Would you like to add a Recommendation/Action?

  YES

  NO

• Point 2

• Please state the names of who's responsibility it is.

• Please enter action date or deadline date.

  Date

• Comments on Audit Visit

• Completed by

• Signature

  Sign